Orientador: José Maria Ferreira Jardim da Silveira / Tese (doutorado) - Universidade Estadual de Campinas, Instituto de Economia / Made available in DSpace on 2018-08-27T10:45:02Z (GMT). No. of bitstreams: 1 Murakami_ThaysGoncalvesdeLima_D.pdf: 10562342 bytes, checksum: 117ec4b1509fe2b8e1fb5ba7b3f11b9b (MD5) Previous issue date: 2015 / Resumo: A pesquisa tem por objetivo investigar as trajetórias tecnológicas que estão se formando na etapa de hidrólise enzimática para a produção de bioetanol de 2ª geração (também denominado bioetanol lignocelulósico). A escolha do bioetanol lignocelulósico como tema geral dessa tese mostra-se pertinente, haja vista que sua produção ainda se encontra em estágio inicial de desenvolvimento, criando oportunidade principalmente para países em desenvolvimento, que podem adequar suas políticas energéticas às especificidades locais (a partir da escolha de matérias-primas abundantes internamente a serem usadas como biomassa) e minimizar sua dependência de fontes fósseis. Particularmente o Brasil pode se beneficiar da produção de bioetanol lignocelulósico partindo do conhecimento e da infraestrutura já aplicados à produção de bioetanol da cana. A motivação para a seleção da etapa de hidrólise como tema específico está no fato de que esse processo ainda carrega muitas incertezas, não havendo tecnologia(s) líder(es) ou trajetória(s) dominante(s). Ao contrário, há um conjunto de rotas tecnológicas possíveis que precisam mostrar sua viabilidade técnica e econômica para se tornarem ideais. O estudo da rota enzimática, em detrimento da rota ácida, deve-se ao fato de que ela tem sido considerada pela literatura a mais promissora. Todavia, mesmo na hidrólise enzimática há enormes indefinições decorrentes da ampla diversidade de micro-organismos com potencial para degradação de material lignocelulósico que, no entanto, metabolizam as enzimas em diferentes proporções e condições ambientais. As incertezas decorrem também da ampla gama de enzimas degradadoras de matéria lignocelulósica e da ação sinérgica entre elas. Dado que cada matéria usada como biomassa possui uma composição lignocelulósica particular, a eleição do grupo de enzimas a serem usadas no processo de degradação se torna mais complexa. Com vistas a atender aos propósitos desta pesquisa ¿ de investigar as trajetórias tecnológicas em hidrólise enzimática para produção de bioetanol ¿ foi usada a base da Derwent Innovations Index durante o período de 1970 a 2014 para a seleção de patentes relacionadas ao tema. A partir da reunião das patentes de interesse, foram extraídas, sistematizadas e analisadas três categorias de informação dos documentos patentários, a saber, o(s) tipo(s) de pesquisa empreendido(s) (ou conteúdo da patente), o(s) micro-organismo(s) envolvido(s) na pesquisa e a(s) enzima(s) de interesse comercial. Com essas três categorias de informação, aplicou-se o modelo NK para detectar a presença de padrões de especialização entre `conteúdo-micro-organismo-enzima¿. Isso porque, espera-se que com o amadurecimento da rota de hidrólise enzimática, haja o afunilamento dos micro-organismos estudados, a paulatina eleição dos mais aptos à produção de bioetanol lignocelulósico e o direcionamento a determinadas enzimas, reduzindo o grau de incerteza que envolve o processo. O que se pretende com a investigação dessas três dimensões, portanto, é compreender em que direção os agentes públicos e privados estão focalizando seus esforços em termos de métodos/técnicas de pesquisa, em quais micro-organismos esses agentes têm apostado suas expectativas e em quais enzimas tem havido crescente interesse comercial. Essas dimensões, em seu conjunto, delineiam as trajetórias tecnológicas em hidrólise enzimática e dão pistas do atual estágio dessa rota de uma perspectiva setorial / Abstract: This research aims to investigate the technological trajectories in enzymatic hydrolysis process for the 2nd generation bioethanol production (also known as lignocellulosic bioethanol). The choice of the lignocellulosic bioethanol as the general topic of this work proves to be relevant, given that its production is still in early stage of development, creating opportunity especially for developing countries inasmuch as they can adjust their energetic policies to local conditions (choosing internally abundant raw materials to be used as biomass) and minimize their dependence on fossil fuels. Brazil particularly can benefit from lignocellulosic bioethanol production taking advantages from the knowledge and infrastructure already applied to the production of sugarcane bioethanol. The motivation for the study of the hydrolysis process is due to the uncertainties around it, to the extent that there is no dominant technology or trajectory. On the contrary, there are a number of possible technological routes that need to prove their technical and economic feasibility to become ideals, being the enzymatic route considered by the literature the most promising of them. Nevertheless, even in the enzymatic hydrolysis there are huge uncertainties arising from the wide range of micro-organisms with potential for the degradation of lignocellulosic matter. These microorganisms metabolize enzymes at different rates and at different environmental conditions. Uncertainties also arise from the wide range of enzymes needed to degrade the lignocellulosic matter and to the synergic action between them. Since each raw material used as biomass has a specific lignocellulosic composition, the choice of the group of enzymes to be used in the degradation process becomes more complex. In order to fulfill the purposes of this research ¿ to investigate the technological trajectories in enzymatic hydrolysis for bioethanol production ¿ we selected patents available in the Derwent Innovations Index database during the period 1970-2014. From the patent documents of interest we extracted, systematized and analyzed three categories of information, namely the type of the research (or patent content), the microorganism involved in the research and the enzyme of commercial interest. With these three categories of information, we applied the NK-model to examine the presence of specialization patterns among `type-microorganism-enzyme¿. It is expected that with the maturation of enzymatic hydrolysis route, there will be a reduction in the number of microorganisms studied, a gradual choice of the most suitable microorganisms and a focus on certain enzymes, reducing the degree of uncertainty involved in the process. The investigation of these three dimensions, therefore, is to understand in what direction the public and private actors are focusing their efforts in terms of methods/research techniques, microorganisms and enzymes. These dimensions, as a whole, outline the technological trajectories in enzymatic hydrolysis and track the current stage of this route in a sectorial perspective / Doutorado / Teoria Economica / Doutora em Ciências Econômicas

This research sets out to provide enhanced knowledge on the impact of transformational leadership on employees' innovation behavior. In particular, drawing on leadership and innovation literature, this research attempts to examine such a relationship by both theorizing and testing the extent to which employees' readiness for change mediates on it. Moreover, this research takes the view that the effectiveness of transformational leadership varies according to the presence of different moderating variables. As such, employees' perceived high commitment work system of their firm as well as these employees' learning capability are examined as moderators on the aforementioned relationship. I collected multi-source and supervisor-employee matched data from two hotels, and the results of data analysis supported the total effect of transformational leadership on innovation behavior, the mediating effect of readiness for change, as well as the moderating effect of employee learning capability. The moderating role of high commitment work system was also found significant but opposite to the initially hypothesized direction. Practically, this research offers implications to managers the importance of leadership on facilitating the change and innovation processes in organizations.

Pundits and policymakers often decry the inability of international law to keep pace with technological change. Political scientists expect technological innovation to grant revisionist states with both the means and motive to evade unfavorable legal commitments. In practice, however, only some militarily disruptive technologies are institutionally disruptive. Status quo powers sometimes decline to contest revisionist breakthroughs, and revisionists sometimes concede (or conceal) their innovations instead of leveraging them to contest or evade undesirable rules. When contestation does arise, it is not always resolved in favor of the materially stronger party. If international law is what powerful states say it is, why are some international legal institutions comparatively resilient to militarily impactful technological innovations? This dissertation presents evidence that linguistic nuance, negotiated in ignorance about what the future might bring, can handcuff states to materially disadvantageous interpretations about what technologies are "compliant." To advance this argument, I depart from longstanding assumptions about what makes institutions effective. Norm specificity -- conventionally understood to minimize noncompliance -- works well for known forms of deviations, but unanticipated forms are inevitable. As the technology frontier inexorably expands, specificity dampens the credibility of restrictive analogies, making norms hard but brittle. When this happens, states that care about preserving at least the veneer of legal credibility can be deterred from adopting policies that would otherwise improve their material security. The theory is tested with a mixed-method empirical strategy. Seven case studies, based on thousands of pages of declassified records, are paired with two theoretically-motivated randomized experiments. This evidence shows while that emerging technologies may present states with incentives to evade the rules, the cost of evasive action depends on the perceived credibility of evasive justifications, a function of commitment language. An important finding is that seemingly "ambiguous" language can actually make legal institutions more resilient. In a world where change is understood as the only constant; words are widely viewed as cheap talk; and law is subordinate to politics, these results help explain why technology contestation is not ubiquitous.

Orientador: Fernando Augusto Silva Marins / Coorientador: Maurício César Delamaro / Banca: Messias Borges Silva / Banca: Otávio José de Oliveira / Banca: Henrique Martins Rocha / Banca: Marco Antonio Carvalho Pereira / Resumo: Esta Tese de doutoramento apresenta um Modelo de Plataforma Integrativa para Soluções Habilitantes (MPISH). Este modelo foi construído a partir de uma pesquisa sobre a Tríplice Hélice (TH) do vale da eletrônica, que se encontra inserido nos limites do município de Santa Rita do Sapucaí, região Sul do Estado de Minas Gerais - Brasil, sob a motivação de conhecer o modus agendi da TH local e por meio de seus integrantes identificar os desafios atuais de cada um dos setores, quais sejam: governo - universidade - indústria. O modelo tem por finalidade promover o envolvimento dos integrantes da TH, visando a criação de programas e ações de desenvolvimento mais adequadas à realidade de uma dada região. O MPISH baseia-se na formação de redes sociais, contemplando a integração de entidades industriais e empresariais, organizações políticas e sociais, poder público, instituições acadêmicas em todos os seus níveis, bem como a própria população, instigando sua associabilidade e valorizando o seu potencial criativo empreendedor. O MPISH sustenta-se no aproveitamento das potencialidades locais, visando desenvolver uma cultura de desenvolvimento participativo de uma região. Neste trabalho foi adotado o método indutivo de pesquisa básica com abordagens qualitativa e quantitativa, tendo objetivo exploratório e descritivo, utilizando levantamento bibliográfico, análise documental e pesquisa de campo. Buscou-se por meio da análise bibliométrica, da revisão sistemática da literatura e das anális... (Resumo completo, clicar acesso eletrônico abaixo) / Doutor

This dissertation studies mergers and acquisitions (M&As) from two perspectives. On one hand, M&A serves an external force of combining two different entities and thus facilitates technology integration and development. On the other hand, it also plays an important role in corporate governance. Chapter 1 studies the role of M&A in a firm's innovation process, while Chapter 2 and 3 study how activism and appraisal litigation governs the market for corporate control. In Chapter 1, I examine the motives as well as the consequences of M&A transactions between companies with varying degrees of technological overlap. High-overlap deals, with more collaboration between inventors from the merging companies, produce more patents and go deeper in the existing fields. In contrast, low-overlap deals, with a higher percentage of new inventors, experience larger technology shifts and develop patents in unexplored areas with higher commercial value. Importantly, M&A completion facilitates technology transformation to a greater degree than the two companies, especially pairs with low overlap, could have accomplished on their own. Overall, the direction of innovation is an important motive for technology-driven acquisitions. In Chapter 2, we examine ``activist risk arbitrage,'' in which a shareholder attempts to improve terms of an announced M&A through public campaigns. Activists target deals with low premiums and those susceptible to managerial conflicts of interest, including going-private deals and deals in which CEOs receive outsized payments. Activist arbitrageurs are associated with a significant decrease in the probability that targets will be sold to the announced bidders, and an increase in the premium paid, both ex post among surviving deals and ex ante among all deals. Activist arbitrage serves as a governance mechanism in M&A and earns higher returns than passive arbitrage. In Chapter 3, we present the first large-sample empirical study of the recent trends in the appraisal remedy--the right of shareholders of companies completing an eligible merger to petition the court for an improved price for their shares. Appraisal petitions have increased markedly over our sample from 2000 to 2014, and the composition of those bringing these suits has shifted from individual shareholders toward specialized hedge funds. Appraisal petitions are more likely to be filed against mergers with perceived conflicts of interest, including going-private deals, minority squeeze outs, and acquisitions with low premiums, which makes them a potentially important governance mechanism. Appraisals yield sizable excess returns to the petitioners, with an average annualized return of 32.9 percent, which suggests that appraisals also act as a litigation arbitrage. Finally, we explore the likely effects of two recent changes to the Delaware appraisal statute---regarding the minimum stake and interest payment---on the incentives to file appraisal petitions.

A dissertation submitted to the Faculty of Engineering and the Built Environment, University of the Witwatersrand, Johannesburg, in fulfilment of the requirements for the degree of Doctor of Philosophy in Town and Regional Planning, University of the Witwatersrand, October 2019 / Mainstream debates show the continued marginalisation of traditional urban agriculture (UA) by conventional land use planning despite its food security, nutrition, environmental and social benefits globally. Instigated by observed tensions (and resultant vicious cycle) between UA and land use planning in Johannesburg, this study poses innovation as a means for UA to navigate the city’s neoliberal market-driven logic and land use planning. The study argues for the need for innovation by both sectors but takes a step further by drawing on the innovation networks theory to argue the case for a collaborative ecosystem of actors. Literature shows that improving products, services and organisational practices by UA is not sufficient to secure land access in cities. The study uses the market logic within the neoliberal environment, juxtaposing international case studies to explore UA’s place in contemporary Johannesburg. The study used the extended case study approach to gather experiences from UA entities, City of Johannesburg and collaborating partners. The method regards participants as shaping and simultaneously being shaped by the external forces; and thus innovation networks between UA and land use planning practices are mirrored within the broader national neoliberal planning policy. Similar to Almere, Berlin, Detroit, Havana and Portland, the key study findings are that applying the principles of innovating networks to Johannesburg creates a collaborations ecosystem between UA and land use planning actors that attract investment and enhances value addition which in turn leads to formalisation of the sector (thus translating to a virtuous cycle). However, despite these collaboration platforms, neoliberal planning pressures have reversed UA formalisation in the cities of Berlin and Portland as urban farms are converted to real estate. With the exception of Almere, experiences in Havana and Detroit shows the success of innovation networks in permanently zoning UA outside the neoliberal planning pressures. Regrettably, the neoliberal planning paradigm focuses on the economic viability of UA and discounts its social, health, environmental and food security benefits to the local economy. / PH2020

Innovation is vital to the survival and prosperity of small and medium-sized enterprises (SMEs). Such firms have the inherent liability of limited resources, which creates a barrier to their pursuit of innovative activities. To compete with larger incumbents and sustain competitive advantages, leaders, the principal decision-makers, play a key role in devising innovation strategies and have overall responsibility for firms' ultimate performance. This study draws on the resource-based view (RBV) and dynamic capabilities perspective (DC) to develop a model linking leadership (resource) to innovation (dynamic capability) and product innovation performance (sustainable competitive advantage). In addition, it suggests that reward philosophy and entrepreneurial culture can enhance or hinder the effect of transformational and transactional leadership on exploratory and exploitative innovation in the context of SMEs. Using a quantitative research method, 151 valid pairs of questionnaires (i.e. 302 respondents) were collected from the top management of small and medium-sized manufacturing firms in China. The empirical findings showed that transformational leadership behaviors could foster both exploratory and exploitative innovations. Transactional leaders, consistent with the literature, could facilitate exploitative activities, but not exploratory innovation. The data analysis also indicated that different types of innovation delivered different benefits to firms. In addition, reward philosophy and entrepreneurial culture had divergent moderating effects on the relationship between leadership style and innovative outcome.

Computer professionals have been agents of change in many organizations. In some cases the role inadvertently became theirs as they were the ones at the vanguard of implementing the new information processing technology in organizations. While in other cases they were the catalysts for change, to force new methods/procedures onto lethargic organizations. While introducing change on others in the organization and adapting to new technological changes themselves, the computer professionals have not really had to face a significant change in their status, power, or importance to the organization. The introduction of the personal computer has brought about significant change in the way the job of the computer professional is perceived by many in the business world. While this change is personally affecting the way they do their job, there has not been a noticeable attempt by those managing computer professionals to deal with the human emotions engendered by such a change. Part of the reason for this lack of attention may be due to the lack of a model as to how computer professionals react to change. Such a model would provide a system whereby it would be possible to recognize where efforts could be made to measure, predict, and modify situations so that a smooth transition can be made to the change. Toward this end a model was developed which presents a system as to how computer professionals react to change. This dissertation presents the model, surveys a population of computer professionals, and analyzes the model using data gathered from the population. The data was gathered in the form of a self administered survey which was given to computer professionals working for six investor owned electric and gas utilities in the Northwestern United states. They answered questions on a scale of from one to five as to their emotions and perceptions about the introduction of personal computers into their organizations. These questions spanned the timeframe as the organizations migrated from the early beginnings of personal computer introduction, to a situation where the use of personal computers was widespread in the company. In the case of three of the companies the personal computer had not yet achieved widespread use at the time of the survey. The data gathered from the computer professionals was statistically analyzed to see if relationships exist between the model and the data. Additionally, interesting demographic data was analyzed to see if certain other factors affected the computer professional's perception as to the impact of the personal computer on their quality of worklife.

A research article submitted to the Faculty of Commerce, Law and Management, University of the Witwatersrand, in partial fulfilment of the requirements for the degree of Master of Business Administration Johannesburg, 2018 / Blockchain technology is a foundational technology with various use cases that can significantly impact the manner in which banking is carried out in South Africa. The following paper seeks to put together a framework for understanding the potential effect of blockchain technology on the South African banking environment, with a specific focus on how blockchain technology will impact the South African banking environment (i.e. the applications and use cases) and when this impact will take place. A qualitative approach to addressing the problem statement was adopted, specifically in the form of focus interviews and strategic discussions with subject matter experts in both the blockchain and South African banking environment. Findings indicate that there are number of blockchain applications that can impact the South African banking environment namely, Private Digital Ledgers, Smart Contracts and Tokens/ Cryptocurrencies. Further to this, research indicates that the former is most likely in the short term, while the latter two applications are subject to a high-level stakeholder coordination, a high level of effort in educating the end customer and a high level of friction from existing systems and process, and will therefore only realise mass adoption in the long-term. As a result, this research contributes to providing an initial view of which applications are most likely to be adopted by South African banks and can form the foundation for further research in this area. / E.K. 2019

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